UNOFFICIAL CONSOLIDATED TEXT

DECISION OF THE COUNCIL C(2001)107/FINAL

CONCERNING THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF WASTES

DESTINED FOR RECOVERY OPERATIONS,

AS AMENDED BY C(2004)20

For reasons of simplicity and convenience, this document consolidates the two following official documents: 1- the text of the original Decision C(2001)107/FINAL, adopted by the OECD Council in 2002, and 2- the text of the amendments made to Appendices 3 and 4 of Decision C(2001)107/FINAL, i.e.

document C(2004)20 which was submitted to Council for information in March 2004. These amendments, which came into force on 20 November 2003, have been adopted by OECD Member countries in accordance with the provisions of Article 3, Section B, Chapter II of C(2001)107/FINAL, which states that amendments made to the “Basel lists” of wastes will be incorporated into the “OECD lists”of wastes if there is no objection. Since no objection has been raised from OECD Member countries about the incorporation of the Basel amendments adopted at the 6th Meeting of the Conference of the Parties, these amendments have been transposed into Appendices 3 and 4 (OECD Green and Amber lists of wastes) of the OECD Decision.

2

TABLE OF CONTENTS

REVISION OF COUNCIL DECISION C(92)39/FINAL .............................................................................. 3

CHAPTER I:................................................................................................................................................... 4

CHAPTER II .................................................................................................................................................. 5 A. DEFINITIONS ................................................................................................................................. 5 B. GENERAL PROVISIONS............................................................................................................... 6

(1) Conditions................................................................................................................................... 6 (2) Control Procedures...................................................................................................................... 7 (3) Procedure for Amendments to the Lists of Wastes in Appendices 3 and 4 ................................ 7 (4) Provision for Specific National Control...................................................................................... 8 (5) Information Requirements .......................................................................................................... 8 (6) Wastes not Listed in Appendices 3 or 4 to this Decision............................................................ 9 (7) Generator of Mixed or Transformed Waste................................................................................ 9 (8) Procedures for Mixtures of Wastes............................................................................................. 9

C. GREEN CONTROL PROCEDURE .............................................................................................. 10 D. AMBER CONTROL PROCEDURE ............................................................................................. 10

(1) Conditions................................................................................................................................. 10 (2) Functioning of the Amber Control Procedure: ......................................................................... 11

Case 1: Individual transboundary movements of wastes or multiple shipments to a recovery facility...................................................................................................... 11 Case 2: Transboundary movements of wastes to pre-consented recovery facilities............... 13

(3) Duty to Return or Re-export Wastes Subject to the Amber Control Procedure ....................... 13 (4) Duty to Return Wastes Subject to the Amber Control Procedure from a Country of Transit .. 14 (5) Provisions Relating to Recognised Traders .............................................................................. 14 (6) Provisions Relating to Exchange (R12) and Accumulation (R13) Operations......................... 14

APPENDIX 1: CATEGORIES OF WASTES TO BE CONTROLLED ...................................................... 16

APPENDIX 2: LIST OF HAZARDOUS CHARACTERISTICS ................................................................ 18

APPENDIX 3: LIST OF WASTES SUBJECT TO THE GREEN CONTROL PROCEDURE .................. 20

APPENDIX 4: LIST OF WASTES SUBJECT TO THE AMBER CONTROL PROCEDURE ................. 22

APPENDIX 5.A: DISPOSAL OPERATIONS............................................................................................. 24

APPENDIX 5.B: RECOVERY OPERATIONS........................................................................................... 25

APPENDIX 6: CRITERIA FOR THE OECD RISK-BASED APPROACH ............................................... 26

APPENDIX 7: PRACTICAL INFORMATION TO BE PROVIDED BY MEMBER COUNTRIES......... 27

APPENDIX 8: NOTIFICATION AND MOVEMENT DOCUMENTS...................................................... 29

3

REVISION OF COUNCIL DECISION C(92)39/FINAL ON THE CONTROL OF TRANSBOUNDARY MOVEMENTS OF WASTES

DESTINED FOR RECOVERY OPERATIONS

THE COUNCIL,

1. Having regard to Article 5a) of the Convention on the Organisation for Economic Co-operation and Development of 14 December 1960;

2. Having regard to the Decision of the Council of 30 March 1992 concerning the control of transfrontier movements of wastes destined for recovery operations C(92)39/FINAL, as amended, which establishes an operational control system for transboundary movements of wastes destined for recovery operations;

3. Having regard to the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal, which entered into force on 5 May 1992, as amended on 6 November 1998 with Annexes VIII and IX listing respectively wastes characterised as hazardous pursuant to Article 1(1)(a) of the Convention and wastes not covered by Article 1(1)(a) of the Convention;

4. Noting that most OECD Member countries (hereafter Member countries) and the European Community have become Parties to the Basel Convention;

5. Noting that Member countries agreed at the Working Group on Waste Management Policy (WGWMP) meeting in Vienna in October 1998 to further harmonisation of procedures and requirements of OECD Decision C(92)39/FINAL with those of the Basel Convention;

6. Noting that recovery of valuable materials and energy from wastes is an integral part of the international economic system and that well established international markets exist for the collection and processing of such materials within Member countries;

7. Noting further that many industrial sectors in Member countries have already implemented waste recovery techniques in an environmentally sound and economically efficient manner, thus increasing resource efficiency and contributing to sustainable development, and convinced that further efforts to promote and facilitate waste recovery are necessary and should be encouraged;

8. Recognising that the environmentally sound and economically efficient recovery of wastes may justify transboundary movements of wastes between Member countries;

9. Recognising that the operational Control System established by Decision C(92)39/FINAL has provided a valuable framework for Member countries to control transboundary movements of wastes destined for recovery operations in an environmentally sound and economically efficient manner;

10. Desiring, therefore, to continue this agreement or arrangement under Article 11.2 of the Basel Convention;

4

11. Recognising that Member countries may, within their jurisdiction, impose requirements consistent with this Decision and in accordance with the rules of international law, in order to better protect human health and the environment; and

12. Recognising the need to revise Decision C(92)39/FINAL in order to improve certain elements of the Control System and to enhance harmonisation with the Basel Convention,

On the proposal of the Environment Policy Committee:

DECIDES that the text of Decision C(92)39/FINAL is revised as follows:

CHAPTER I:

1. DECIDES that Member countries shall control transboundary movements of wastes destined for recovery operations within the OECD area in accordance with the provisions set out in Chapter II of this Decision and in the appendices to it.

2. INSTRUCTS the Environment Policy Committee in co-operation with other relevant OECD bodies, in particular the Trade Committee, to ensure that the provisions of this Control System remain compatible with the needs of Member countries to recover wastes in an environmentally sound and economically efficient manner.

3. RECOMMENDS Member countries to use for the Notification Document and Movement Document the forms contained in Appendix 8 to this Decision.

4. INSTRUCTS the Environment Policy Committee to amend the forms for the Notification Document and Movement Document as necessary.

5. INSTRUCTS the Environment Policy Committee to review the procedure for amending the waste lists under Chapter II. B, (3) at the latest seven (7) years after the adoption of the present Decision.

6. REQUESTS Member countries to provide the information that is necessary for the implementation of this Decision and is listed in Appendix 7 to this Decision.

7. REQUESTS the Secretary General to transmit this Decision to the United Nations Environment Programme and the Secretariat of the Basel Convention.

5

CHAPTER II

A. DEFINITIONS

For the purposes of this Decision:

1. WASTES are substances or objects, other than radioactive materials covered by other international agreements, which:

(i) are disposed of or are being recovered; or

(ii) are intended to be disposed of or recovered; or

(iii) are required, by the provisions of national law, to be disposed of or recovered.

2. HAZARDOUS WASTES are:

(i) Wastes that belong to any category contained in Appendix 1 to this Decision unless they do not possess any of the characteristics contained in Appendix 2 to this Decision; and

(ii) Wastes that are not covered under sub-paragraph 2.(i) but are defined as, or are considered to be, hazardous wastes by the domestic legislation of the Member country of export, import or transit. Member countries shall not be required to enforce laws other than their own.

3. DISPOSAL means any of the operations specified in Appendix 5.A to this Decision.

4. RECOVERY means any of the operations specified in Appendix 5.B to this Decision.

5. TRANSBOUNDARY MOVEMENT means any movement of wastes from an area under the national jurisdiction of a Member country to an area under the national jurisdiction of another Member country.

6. RECOVERY FACILITY means a facility which, under applicable domestic law, is operating or is authorised or permitted to operate in the country of import to receive wastes and to perform recovery operations on them.

7. COUNTRY OF EXPORT means a Member country from which a transboundary movement of wastes is planned to be initiated or is initiated.

8. COUNTRY OF IMPORT means a Member country to which a transboundary movement of wastes is planned or takes place.

9. COUNTRY OF TRANSIT means a Member country other than the country of export or import through which a transboundary movement of wastes is planned or takes place.

10. COUNTRIES CONCERNED means the countries of export and import and any country of transit, as defined above.

11. OECD AREA means all land and marine areas, under the national jurisdiction of any Member country.

6

12. COMPETENT AUTHORITIES means the regulatory authorities of countries concerned having jurisdiction over transboundary movements of wastes covered by this Decision.

13. PERSON means any natural or legal person.

14. EXPORTER means any person under the jurisdiction of the country of export who initiates the transboundary movement of wastes or who has, at the time the planned transboundary movement commences, possession or other forms of legal control of the wastes.

15. IMPORTER means any person under the jurisdiction of the country of import to whom possession or other form of legal control of the waste is assigned at the time the waste is received in the country of import.

16. RECOGNISED TRADER means any person under the jurisdiction of a Member country who, with appropriate authorisation of countries concerned, acts in the role of principal to purchase and subsequently sell wastes; such a person may act to arrange and facilitate transboundary movements of wastes destined for recovery operations.

17. GENERATOR means any person whose activities create wastes.

18. A MIXTURE OF WASTES means a waste that results from an intentional or unintentional mixing of two or more different wastes. A single shipment of wastes, consisting of two or more wastes, where each waste is separated, is not a mixture of wastes.

B. GENERAL PROVISIONS

(1) Conditions

The following conditions shall apply to transboundary movements of wastes subject to this Decision:

(a) The wastes shall be destined for recovery operations within a recovery facility which will

recover the wastes in an environmentally sound manner according to national laws, regulations and practices to which the facility is subject.

(b) All persons involved in any contracts or arrangements for transboundary movements of wastes destined for recovery operations should have the appropriate legal status, in accordance with domestic legislation and regulations.

(c) The transboundary movements shall be carried out under the terms of applicable international transport agreements.

(d) Any transit of wastes through a non-member country shall be subject to international law and to all applicable national laws and regulations.

7

(2) Control Procedures

A two-tiered system serves to delineate controls to be applied to such transboundary movements of wastes:

a) Green Control Procedure:

Wastes falling under the Green control procedure are those wastes in Appendix 3 to this Decision. This Appendix has two parts:

• Part I contains the wastes in Annex IX of the Basel Convention, some of which are subject to a note for the purposes of this Decision;

• Part II contains additional wastes that OECD Member countries agreed to be subject to the Green control procedure, in accordance with criteria referred to in Appendix 6 to this Decision.

The Green control procedure is described in Section C.

b) Amber Control Procedure:

Wastes falling under the Amber control procedure are those wastes in Appendix 4 to this Decision. This Appendix has two parts:

• Part I contains the wastes in Annexes II and VIII of the Basel Convention, some of which are subject to a note for the purposes of this Decision;

• Part II contains additional wastes that OECD Member countries agreed to be subject to the Amber control procedure, in accordance with criteria referred to in Appendix 6 to this Decision.

The Amber control procedure is described in Section D.

(3) Procedure for Amendments to the Lists of Wastes in Appendices 3 and 4

Normally, and without any other formal decision, amendments made to Annex IX under the Basel Convention will be incorporated into Part I of Appendix 3 to this Decision and amendments made to Annexes II and VIII under the Basel Convention will be incorporated into Part I of Appendix 4 to this Decision, entering into effect from the date on which the amendment to the Basel Convention (hereafter the Amendment) becomes effective for the Parties to the Convention. On that same date any relevant change will be automatically made to Part II of Appendices 3 or 4.

In exceptional cases: a) A Member country that determines, in accordance with the criteria referred to in

Appendix 6, that a different level of control is justified for one or more wastes covered by the Amendment, may object in writing to the OECD Secretariat within sixty (60) days following the adoption of the Amendment by the Conference of the Parties to the Basel Convention. Such an objection, which shall provide an alternative proposal for inclusion into the relevant appendix or appendices to this Decision, will be immediately disseminated by the OECD Secretariat to all Member countries.

8

b) The notification of an objection to the OECD Secretariat suspends the incorporation of the waste(s) concerned into the relevant appendix to this Decision. Pending examination of the objection by the appropriate OECD body, the waste(s) concerned shall be subject to the provisions of Section 6 (b) and 6 (c) hereunder.

c) The appropriate OECD body shall promptly examine the objection and the related alternative proposal and shall reach a conclusion one month before the Amendment becomes effective for the Parties to the Basel Convention.

d) If consensus is reached within the appropriate OECD body during that period, the relevant Appendix to this Decision will be modified as appropriate. Any modification becomes effective on the same date on which the amendment to the Basel Convention becomes effective for the Parties to the Convention.

e) If no consensus is reached within the appropriate OECD body during that period, the Amendment will not be applied within the OECD Control System. With respect to the waste(s) concerned, the relevant appendix to this Decision will be modified as appropriate. Each Member country retains its right to control such waste(s) in conformity with its domestic legislation and international law.

(4) Provision for Specific National Control

a) This Decision does not prejudice the right of a Member country to control, on an exceptional basis, certain wastes differently, in conformity with domestic legislation and the rules of international law, in order to protect human health and the environment.

b) Thus, a Member country may control wastes subject to the Green control procedure as if those wastes had been subject to the Amber control procedure.

c) A Member country may, in conformity with domestic legislation, legally define or consider a waste subject to the Amber control procedure as subject to the Green control procedure because it does not exhibit any of the hazardous characteristics listed in Appendix 2 of this Decision, as determined using national procedures1

d) In the case of a transboundary movement of wastes where the wastes are legally defined as, or considered to be, wastes subject to the Amber control procedure only by the country of import, the requirements of section D that apply to the exporter and the country of export, shall apply mutatis mutandis to the importer and the country of import, respectively.

(5) Information Requirements

Any Member country exercising the right to apply a different level of control shall immediately inform the OECD secretariat citing the specific waste(s) and applicable legislative requirements. Member countries which prescribe the use of certain tests and testing procedures in order to determine whether a waste exhibits one or more of the hazardous characteristics listed in Appendix 2 of this Decision shall also inform the OECD secretariat concerning which tests and

1. In addition, certain Member countries have developed regulations used to determine whether or not wastes are

controlled as hazardous wastes.

9

testing procedures are being so utilised; and, if possible, which wastes would or would not be legally defined or considered to be hazardous wastes based upon application of these national procedures. All the above information requirements are specified in Appendix 7 to this Decision.

(6) Wastes not Listed in Appendices 3 or 4 to this Decision

Wastes which are destined for recovery operations but have not yet been assigned to Appendices 3 or 4 of this Decision, shall be eligible for transboundary movements pursuant to this Decision subject to the following conditions:

(a) Member countries shall identify such wastes and, if appropriate, make applications to the Technical Working Group of the Basel Convention in order to amend the relevant Annexes of the Basel Convention;

(b) Pending assignment to a list, such wastes shall be subject to the controls required for the transboundary movements of wastes by the domestic legislation of the countries concerned in order that no country is obliged to enforce laws other than its own;

(c) However, if such wastes exhibit a hazardous characteristic listed in Appendix 2 to this Decision as determined by using national procedures2 and any applicable international agreements, such wastes shall be subject to the Amber control procedure

(7) Generator of Mixed or Transformed Waste

If two or more lots of wastes are mixed and/or otherwise subjected to physical or chemical transformation operations, the person who performs these operations shall be deemed to be the generator of the new wastes resulting from these operations.

(8) Procedures for Mixtures of Wastes

Having regard to paragraph 11 of the preamble of this Decision, a mixture of wastes, for which no individual entry exists, shall be subject to the following control procedure:

(i) a mixture of two or more Green wastes shall be subject to the Green control procedure, provided the composition of this mixture does not impair its environmentally sound recovery;

(ii) a mixture of a Green waste and more than a de minimis amount of an Amber waste or a mixture of two or more Amber wastes shall be subject to the Amber control procedure, provided the composition of this mixture does not impair its environmentally sound recovery.

2. In addition, certain Member countries have developed regulations used to determine whether or not wastes are

controlled as hazardous wastes

10

C. GREEN CONTROL PROCEDURE

Transboundary movements of wastes subject to the Green control procedure shall be subject to all existing controls normally applied in commercial transactions.

Regardless of whether or not wastes are included on the list of wastes subject to the Green Control Procedure (Appendix 3), they may not be subject to the Green control procedure if they are contaminated by other materials to an extent which (a) increases the risks associated with the wastes sufficiently to render them appropriate for submission to the amber control procedure, when taking into account the criteria in Appendix 6 to this Decision, or (b) prevents the recovery of the wastes in an environmentally sound manner.

D. AMBER CONTROL PROCEDURE

(1) Conditions

(a) Contracts

Transboundary movements of wastes under the Amber control procedure may only occur under the terms of a valid written contract, or chain of contracts, or equivalent arrangements between facilities controlled by the same legal entity, starting with the exporter and terminating at the recovery facility. All persons involved in the contracts, or arrangements shall have appropriate legal status.

The contracts shall:

i) clearly identify: the generator of each type of waste, each person who shall have legal control of the wastes and the recovery facility;

ii) provide that relevant requirements of this Decision are taken into account and are binding on all parties to the contracts.

iii) specify which party to the contract (i) shall assume responsibility for an alternative management of the wastes in compliance with applicable laws and regulations including, if necessary, the return of the wastes in accordance with section D. (3) (a) below and (ii), as the case may be, shall provide the notification for re-export in accordance with section D.(3) (b) below.

Upon the request of the competent authorities of the countries of export or import, the exporter shall provide copies of such contracts or portions thereof.

Any information contained in the contracts provided under terms of the above paragraph shall be held strictly confidential in accordance with and to the extent required by domestic laws.

(b) Financial Guarantees

Where applicable, the exporter or the importer shall provide financial guarantees in accordance with national or international law requirements, for alternative recycling, disposal or other means of environmentally sound management of the wastes in cases where arrangements for the transboundary movement and the recovery operations cannot be carried out as foreseen.

11

(c) Transboundary Movements of Amber Wastes for Laboratory Analysis

Member countries may exempt a transboundary movement of a waste from the Amber control procedure, if it is explicitly destined for laboratory analysis to assess its physical or chemical characteristics or to determine its suitability for recovery operations. The amount of such waste so exempted shall be determined by the minimum quantity reasonably needed to adequately perform the analysis in each particular case, but not more than 25 kg. Analytical samples must be appropriately packaged and labelled and they remain subject to the conditions set out in Chapter II Section B. (1)(c) and (d) of this Decision. Where a competent authority of a country of import or country of export is required to be informed under its domestic legislation, the exporter shall inform that authority of a transboundary movement of a laboratory sample.

(2) Functioning of the Amber Control Procedure:

Procedures are provided under the Amber control procedure for the following two cases:

Case 1: individual transboundary movements or multiple shipments to a recovery facility;

Case 2: transboundary movements to pre-consented recovery facilities

Case 1: Individual transboundary movements of wastes or multiple shipments to a recovery facility.

(a) Prior to commencement of each transboundary movement of wastes, the exporter shall provide written notification (“single notification”) to the competent authorities of the countries concerned. The notification document shall include all of the information listed in Appendix 8.A to this Decision. In accordance with domestic laws, the competent authorities of the country of export, instead of the exporter, may themselves transmit this notification.

(b) In instances where competent authorities acting under the terms of their domestic laws are required to review the contracts referred to in section D. (1) above, the contract(s) or portions thereof to be reviewed must be sent together with the notification document in order that such review may be appropriately performed.

(c) The competent authorities of the countries concerned may request additional information if the notification is not complete. Upon receipt of the complete notification document referred to in paragraph (a) above, the competent authorities of the country of import and, if applicable, of the country of export shall transmit an acknowledgement to the exporter with a copy to the competent authorities of all other countries concerned within three (3) working days of the receipt of the notification.

(d) The competent authorities of the countries concerned shall have thirty (30) days to object, according to their domestic laws, to the proposed transboundary movement of wastes. The thirty (30)-day period for possible objection shall commence upon issuance of the acknowledgement of the competent authority of the country of import.

(e) Any objection by any of the competent authorities of the countries concerned must be provided in writing to the exporter and to the competent authorities of all other countries concerned within the thirty (30)-day period.

12

(f) If no objection has been lodged (tacit consent), the transboundary movement of wastes may commence after this thirty (30)-day period has passed. Tacit consent expires within one (1) calendar year from the end of the thirty (30)-day period.

(g) In cases where the competent authorities of the countries concerned do not object and decide to provide written consent, it shall be issued within the thirty (30)-day period commencing upon issuance of the acknowledgement of the receipt of notification by the competent authority of the country of import. The transboundary movement of wastes may commence after all consents are received. Copies of the written consent(s) shall be sent to competent authorities of all countries concerned. Written consent is valid for up to one (1) calendar year from the date of its issuance.

(h) Objection or written consent may be provided by post, e-mail with a digital signature, e-mail without digital signature followed by post, or telefax followed by post.

(i) The transboundary movement of wastes may only take place during the period when the consents of all competent authorities (tacit or written consent) are valid.

(j) Each transboundary movement of wastes shall be accompanied by a movement document which includes the information listed in Appendix 8.B to this Decision.

(k) Within three (3) days of the receipt of the wastes by the recovery facility, the recovery facility shall return a signed copy of the movement document to the exporter and to the competent authorities of the countries of export, transit and import. Those countries of transit that do not wish to receive a signed copy of the movement document shall inform the OECD Secretariat. The recovery facility shall retain the original of the movement document for three (3) years.

(l) As soon as possible, but no later than thirty (30) days after the completion of recovery and no later than one (1) calendar year following the receipt of the waste, the recovery facility shall send a certificate of recovery to the exporter and to the competent authorities of the countries of export and import by post, e-mail with a digital signature, email without digital signature followed by post, or telefax followed by post.

(m) In cases where essentially similar wastes (e.g. those having essentially similar physical and chemical characteristics) are to be sent periodically to the same recovery facility by the same exporter, the competent authorities of the countries concerned may elect to accept one “general notification” for such multiple shipments for a period of up to one year. Each shipment must be accompanied by its own movement document, which includes the information listed in Appendix 8.B to this Decision.

(n) Revocation of the acceptance in (m) above may be accomplished by means of an official notice to the exporter from any of the competent authorities of the countries concerned. Notice of revocation of acceptance for transboundary movements previously granted under this provision shall be given to the competent authorities of all countries concerned by the competent authorities of the country that revokes such acceptance.

13

Case 2: Transboundary movements of wastes to pre-consented recovery facilities

(a) Competent authorities having jurisdiction over specific recovery facilities in the country of import may decide not to raise objections concerning transboundary movements of certain types of wastes to a specific recovery facility (pre-consented recovery facility). Such decisions can be limited to a specified period of time and can be revoked at any time.

(b) Competent authorities that elect this option shall inform the OECD secretariat of the recovery facility name, address, technologies employed, waste types to which the pre-consent applies, and the period covered. The OECD secretariat must also be notified of any revocations.

(c) For all transboundary movements of wastes to such facilities paragraphs (a), (b) and (c) of Case 1 shall apply.

(d) The competent authorities of the countries of export and transit shall have seven (7) working days to object, according to their domestic laws, to the proposed transboundary movement of wastes. The seven (7) working days period for possible objection shall commence upon issuance of the acknowledgement of the competent authority of the country of import. In exceptional cases where the competent authority of the country of export needs more than seven (7) working days in order to receive additional information from the exporter as necessary to meet the requirements of its domestic law, it may inform the exporter within the seven (7) working days that additional time is needed. This additional time may be up to thirty (30) days starting from the day of the issuance of the acknowledgement of the competent authority of the country of import.

(e) Paragraphs (e), (f) and (g) of Case 1 shall apply with a period of seven (7) working days instead of thirty (30) days but for the exceptional cases mentioned in paragraph (d) above, in which case the period shall remain thirty (30) days.

(f) Paragraphs (h), (i), (j), (k) and (l) of Case 1 shall apply.

(g) In the case of the acceptance of a general notification, paragraph (m) of Case l shall apply with the exception that the shipments can cover a period of up to three (3) years. For the revocation of this acceptance, paragraph (n) in Case 1 shall apply.

(3) Duty to Return or Re-export Wastes Subject to the Amber Control Procedure

When a transboundary movement of wastes subject to the Amber control procedure, to which countries concerned have given consent, cannot be completed in accordance with the terms of the contract, for any reason such as illegal shipments, the competent authority of the country of import shall immediately inform the competent authority of the country of export. If alternative arrangements cannot be made to recover these wastes in an environmentally sound manner in the country of import, the following provisions shall apply as the case may be:

(a) Return from a country of import to the country of export:

The competent authority of the country of import shall inform the competent authorities of the countries of export and transit, mentioning in particular the reason for returning the waste. The competent authority of the country of export shall admit the return of those wastes. In addition, the competent authorities of the countries of export and transit shall

14

not oppose or prevent the return of these wastes. The return should take place within ninety (90) days from the time the country of import informs the country of export or such other period of time as the concerned Member countries agree. Any new transit country would require a new notification.

(b) Re-export from a country of import to a country other than the initial country of export:

Re-export from a country of import of wastes subject to the Amber control procedure may only occur following notification by an exporter in the country of import to the countries concerned, as well as to the initial country of export. The notification and control procedure shall follow the provisions set out in Case 1 of Section D. (2) with the addition that the provisions concerning the competent authorities of countries concerned shall also apply to the competent authority of the initial country of export.

(4) Duty to Return Wastes Subject to the Amber Control Procedure from a Country of Transit

When the competent authority of the country of transit observes that a transboundary movement of wastes subject to the Amber control procedure, to which countries concerned have given consent, does not comply with the requirements of the notification and movement documents or otherwise constitutes illegal shipment, the competent authority of the country of transit shall immediately inform the competent authorities of the countries of export and import and any other countries of transit.

If alternative arrangements cannot be made to recover these wastes in an environmentally sound manner, the competent authority of the country of export shall admit the return of the shipment of these wastes. In addition, the competent authorities of the country of export and other countries of transit shall not oppose or prevent the return of the wastes. The return should take place within ninety (90) days from the time the country of transit informs the country of export or such other period of time as the concerned countries agree.

(5) Provisions Relating to Recognised Traders

(a) A recognised trader may act as an exporter or importer for wastes with all the responsibilities associated with being an exporter or importer.

(b) The notification document called for in Chapter II section D (2), case 1, a) above shall include a signed declaration by the exporter that the appropriate contracts referred to in Chapter II section D (1) (a) are in place and are legally enforceable in all countries concerned.

(6) Provisions Relating to Exchange (R12) and Accumulation (R13) Operations

For transboundary movements of wastes destined for exchange (R12) or accumulation (R13) operations paragraphs (a) to (j), (m) and (n) of Case 1 shall apply. In addition:

(a) If wastes are destined for a facility or facilities where a R12 or R13 recovery operation as designated in Appendix 5.B to this Decision takes place, the recovery facility or facilities where the subsequent R1-R11 recovery operation as designated in Appendix 5.B takes place or may take place, shall also be indicated in the notification document.

15

(b) Within three (3) days of the receipt of the wastes by the R12/R13 recovery facility or facilities, the facilit(y)ies shall return a signed copy of the movement document to the exporter and to the competent authorities of the countries of export and import. The facilit(y)ies shall retain the original of the movement document for three (3) years.

(c) As soon as possible but no later than thirty (30) days after the completion of the R12/R13 recovery operation and no later than one (1) calendar year following the receipt of the waste, the R12 or R13 facilit(y)ies shall send a certificate of recovery to the exporter and to the competent authorities of the countries of export and import by post, e-mail with a digital signature, email without digital signature followed by post, or telefax followed by post.

(d) When an R12/R13 recovery facility delivers wastes for recovery to an R1-R11 recovery facility located in the country of import, it shall obtain as soon as possible but no later than one calendar year following delivery of the waste, a certification from the R1-R11 facility that recovery of the wastes at that facility has been completed. The R12/R13 facility shall promptly transmit the applicable certification(s) to the competent authorities of the countries of import and export, identifying the transboundary movements to which the certification(s) pertain.

(e) When an R12/R13 recovery facility delivers wastes for recovery to an R1-R11 recovery facility located:

i) in the initial country of export, a new notification is required in accordance with Section D. (2); or

ii) in a third country other than the initial country of export, a new notification is required in accordance with Section D. (3)(b).

16

APPENDIX 1: CATEGORIES OF WASTES TO BE CONTROLLED3

Waste streams: Y1 Clinical wastes from medical care in hospitals, medical centres and clinics Y2 Wastes from the production and preparation of pharmaceutical products Y3 Waste pharmaceuticals, drugs and medicines Y4 Wastes from the production, formulation and use of biocides and phytopharmaceuticals Y5 Wastes from the manufacture, formulation and use of wood preserving chemicals Y6 Wastes from the production, formulation and use of organic solvents Y7 Wastes from heat treatment and tempering operations containing cyanides Y8 Waste mineral oils unfit for their originally intended use Y9 Waste oil/water, hydrocarbon/water mixtures, emulsions Y10 Waste substances and articles containing or contaminated with polychlorinated biphenyls (PCB's)

and/or polychlorinated terphenyls (PCT's) and/or polybrominated biphenyls (PBB's) Y11 Waste tarry residues arising from refining, distillation and any pyrolytic treatment Y12 Wastes from production, formulation and use of inks, dyes, pigments, paints, laquers, varnish Y13 Wastes from production, formulation and use of resins, latex, plasticizers, glues/adhesives Y14 Waste chemical substances arising from research and development or teaching activities which are

not identified and/or are new and whose effects on man and/or the environment are not known Y15 Wastes of an explosive nature not subject to other legislation Y16 Wastes from production, formulation and use of photographic chemicals and processing materials Y17 Wastes resulting from surface treatment of metals and plastics Y18 Residues arising from industrial waste disposal operations

3. This Appendix is identical to Annex I of the Basel Convention.

17

Wastes having as constituents:

Y19 Metal carbonyls

Y20 Beryllium; beryllium compounds

Y21 Hexavalent chromium compounds

Y22 Copper compounds

Y23 Zinc compounds

Y24 Arsenic; arsenic compounds

Y25 Selenium; selenium compounds

Y26 Cadmium; cadmium compounds

Y27 Antimony; antimony compounds

Y28 Tellurium; tellurium compounds

Y29 Mercury; mercury compounds

Y30 Thallium; thallium compounds

Y31 Lead; lead compounds

Y32 Inorganic fluorine compounds excluding calcium fluoride

Y33 Inorganic cyanides

Y34 Acidic solutions or acids in solid form

Y35 Basic solutions or bases in solid form

Y36 Asbestos (dust and fibres)

Y37 Organic phosphorous compounds

Y38 Organic cyanides

Y39 Phenols; phenol compounds including chlorophenols

Y40 Ethers

Y41 Halogenated organic solvents

Y42 Organic solvents excluding halogenated solvents

Y43 Any congener of polychlorinated dibenzo-furan

Y44 Any congener of polychlorinated dibenzo-p-dioxin

Y45 Organohalogen compounds other than substances referred to in this Appendix (e.g. Y39, Y41, Y42 Y43, Y44)

18

APPENDIX 2: LIST OF HAZARDOUS CHARACTERISTICS4

Code5 Characteristics H1: Explosive An explosive substance or waste is a solid or liquid substance or waste (or mixture of substances

or wastes) which is in itself capable by chemical reaction of producing gas at such a temperature and pressure and at such a speed as to cause damage to the surroundings.

H3: Flammable Liquids The word "flammable" has the same meaning as "inflammable". Flammable liquids are liquids,

or mixtures of liquids, or liquids containing solids in solution or suspension (for example, paints, varnishes, lacquers, etc. but not including substances or wastes otherwise classified on account of their dangerous characteristics) which give off a flammable vapour at temperatures of not more than 60.5°C, closed-cup test, or not more than 65.6°C, open-cup test. (Since the results of open-cup tests and of closed-cup tests are not strictly comparable and even individual results by the same test are often variable, regulations varying from the above figures to make allowance for such differences would be within the spirit of this definition.)

H4.1: Flammable Solids. Solids, or waste solids, other than those classed as explosives, which under conditions

encountered in transport are readily combustible, or may cause or contribute to fire through friction.

H4.2: Substances or Wastes Liable to Spontaneous Combustion. Substances or wastes which are liable to spontaneous heating under normal conditions

encountered in transport, or to heating up in contact with air, and being liable to catch fire. H4.3: Substances or Wastes which, in Contact with Water, Emit Flammable Gases. Substances or wastes which, by interaction with water, are liable to become spontaneously

flammable or to give off flammable gases in dangerous quantities. H5.1: Oxidising. Substances or wastes which, while in themselves not necessarily combustible, may, generally by

yielding oxygen cause, or contribute to, the combustion of other materials. H5.2: Organic Peroxides. Organic substances or wastes that contain the bivalent-0-0-structure are thermally unstable

substances which may undergo exothermic self-accelerating decomposition. 4. Codes and hazardous characteristics are identical to those in Annex III of the Basel Convention.

5. Corresponds to hazard classification system included in the United Nations Recommendations on the Transport of Dangerous Goods (11th Revised Edition, UN, New York, October 1999) for H1 through H9; omissions of H2, H7 and H9 are deliberate. Codes H10-H13 correspond to UN class 9.

19

H6.1: Poisonous (Acute) Substances or wastes liable either to cause death or serious injury or to harm human health if

swallowed or inhaled or by skin contact. H6.2: Infectious Substances Substances or wastes containing viable micro-organisms or their toxins which are known or

suspected to cause disease in animals or humans. H8: Corrosives Substances or wastes that, by chemical action, will cause severe damage when in contact with

living tissue, or, in the case of leakage, will materially damage, or even destroy, other goods or the means of transport; they may also cause other hazards.

H10: Liberation of Toxic Gases in Contact with Air or Water Substances or wastes which, by interaction with air or water, are liable to give off toxic gases in

dangerous quantities. H11: Toxic (Delayed or Chronic) Substances or wastes which, if they are inhaled or ingested or if they penetrate the skin, may

involve delayed or chronic effects, including carcinogenicity. H12: Ecotoxic Substances or wastes which if released present or may present immediate or delayed adverse

impacts to the environment by means of bioaccumulation and/or toxic effects upon biotic systems.

H13: Capable, by any means, after disposal, of yielding another material, e.g., leachate, which

possesses any of the characteristics listed above.

Tests

The potential hazards posed by certain types of wastes are not yet fully documented; objective tests to define quantitatively these hazards do not exist. Further research is necessary in order to develop means to characterise potential hazards posed to man and/or the environment by these wastes. Standardised tests have been derived with respect to pure substances and materials. Many Member countries have developed tests which can be applied to materials destined for disposal or recovery by means of operations listed in Appendices 5.A or 5.B in order to decide if these materials exhibit any of the characteristics listed in this Appendix.

20

APPENDIX 3: LIST OF WASTES SUBJECT TO THE GREEN CONTROL PROCEDURE

Regardless of whether or not wastes are included on this list, they may not be subject to the Green control procedure if they are contaminated by other materials to an extent which (a) increases the risks associated with the wastes sufficiently to render them appropriate for submission to the Amber control procedure, when taking into account the criteria in Appendix 6, or (b) prevents the recovery of the wastes in an environmentally sound manner.

Part I:

Wastes listed in Annex IX of the Basel Convention.

For the purposes of this Decision:

(a) Any reference to list A in Annex IX of the Basel Convention shall be understood as a reference to Appendix 4 of this Decision.

(b) In Basel entry B1020 the term “bulk finished form” includes all metallic non-dispersible6 forms of the scrap listed therein.

(c) The part of Basel entry B1100 that refers to “Slags from copper processing” etc does not apply and OECD entry GB040 in Part II applies instead.

(d) Basel entry B1110 does not apply and OECD entries GC010 and GC020 in Part II apply instead.

(e) Basel entry B2050 does not apply and OECD entry GG040 in Part II applies instead.

(f) The reference in Basel entry B3010 to fluorinated polymer wastes shall be deemed to include polymers and co-polymers of fluorinated ethylene (PTFE).

Part II:

The following wastes will also be subject to the Green control procedure:

Metal Bearing Wastes Arising from Melting, Smelting and Refining of Metals

GB040 7112 Slags from precious metals and copper processing for further refining 262030 262090

6 “Non-dispersible” does not include any wastes in the form of powder, sludge, dust or solid items

containing encased hazardous waste liquids.

21

Other Wastes Containing Metals

GC010 Electrical assemblies consisting only of metals or alloys.

GC020 Electronic scrap (e.g. printed circuit boards, electronic components, wire, etc.) and reclaimed electronic components suitable for base and precious metal recovery.

GC030 ex 890800 Vessels and other floating structures for breaking up, properly emptied of any cargo and other materials arising from the operation of the vessel which may have been classified as a dangerous substance or waste

GC050 Spent Fluid Catalytic Cracking (FCC) Catalysts (e.g.: aluminium oxide, zeolites)

Glass Wastes in Non-dispersible Form

GE020 ex 7001 Glass fibre wastes ex 701939

Ceramic Wastes in Non-Dispersible Form

GF010 Ceramic wastes which have been fired after shaping, including ceramic vessels (before and/or after use)

Other Wastes Containing Principally Inorganic Constituents, Which May Contain Metals and Organic Materials

GG030 ex 2621 Bottom ash and slag tap from coal fired power plants

GG040 ex 2621 Coal fired power plants fly ash

Solid Plastic Wastes

GH013 391530 Polymers of vinyl chloride ex 390410-40

Wastes Arising from Tanning and Fellmongery Operations and Leather Use

GN010 ex 050200 Waste of pigs’, hogs’ or boars’ bristles and hair or of badger hair and other brush making hair

GN020 ex 050300 Horsehair waste, whether or not put up as a layer with or without supporting material

GN030 ex 050590 Waste of skins and other parts of birds, with their feathers or down, of feathers and parts of feathers (whether or not with trimmed edges) and down, not further worked than cleaned, disinfected or treated for preservation

22

APPENDIX 4: LIST OF WASTES SUBJECT TO THE AMBER CONTROL PROCEDURE

Part I:

Wastes listed in Annexes II and VIII of the Basel Convention.

For the purposes of this Decision:

(a) Any reference to list B in Annex VIII of the Basel Convention shall be understood as a reference to Appendix 3 of this Decision.

(b) In Basel entry A1010, the term “excluding such wastes specifically listed on List B (Annex IX)” is a reference both to Basel entry B1020 and the note on B1020 in Appendix 3 to this Decision, Part I (b).

(c) Basel entries A1180 and A2060 do not apply and OECD entries GC010, GC020 and GG040 in Appendix 3 Part II apply instead when appropriate. Member countries may control these wastes differently in accordance with Chapter II B (6) of this Decision concerning wastes not listed in Appendices 3 or 4, and the chapeau of Appendix 3.

(d) Basel entry A4050 includes spent potlinings from aluminium smelting because they contain Y33 inorganic cyanides. If the cyanides have been destroyed, spent potlinings are assigned to Part II entry AB120 because they contain Y32, inorganic fluorine compounds excluding calcium fluoride.

Part II:

The following wastes will also be subject to the Amber control procedure:

Metal Bearing Wastes

AA010 261900 Dross, scalings and other wastes from the manufacture of iron and steel7

AA060 262050 Vanadium ashes and residues7

AA190 810420 Magnesium waste and scrap that is flammable, pyrophoric or emits, upon contact ex 810430 with water, flammable gases in dangerous quantities

7 This listing includes wastes in the form of ash, residue, slag, dross, skimming, scaling, dust, powder,

sludge and cake, unless a material is expressly listed elsewhere.

23

Wastes Containing Principally Inorganic Constituents, Which May Contain Metals and Organic Materials

AB030 Wastes from non-cyanide based systems which arise from surface treatment of metals

AB070 Sands used in foundry operations

AB120 ex 281290 Inorganic halide compounds, not elsewhere specified or included ex 3824

AB130 Used blasting grit

AB150 ex 382490 Unrefined calcium sulphite and calcium sulphate from flue gas desulphurisation (FGD)

Wastes Containing Principally Organic Constituents, Which May Contain Metals and Inorganic Materials

AC060 ex 381900 Hydraulic fluids

AC070 ex 381900 Brake fluids

AC080 ex 382000 Antifreeze fluids

AC150 Chlorofluorocarbons

AC160 Halons

AC170 ex 440310 Treated cork and wood wastes

AC250 Surface active agents (surfactants)

AC260 ex 3101 Liquid pig manure; faeces

AC270 Sewage sludge

Wastes Which May Contain either Inorganic or Organic Constituents

AD090 ex 382490 Wastes from production, formulation and use of reprographic and photographic chemicals and materials not elsewhere specified or included

AD100 Wastes from non-cyanide based systems which arise from surface treatment of plastics

AD120 ex 391400 Ion exchange resins ex 3915

AD150 Naturally occurring organic material used as a filter medium (such as bio-filters)

Wastes Containing Principally Inorganic Constituents, Which May Contain Metals and Organic Materials

RB020 ex 6815 Ceramic based fibres of physico-chemical characteristics similar to those of asbestos.

24

APPENDIX 5.A: DISPOSAL OPERATIONS8

Appendix 5.A is meant to encompass all such disposal operations that occur in practice, whether or not they are adequate from the point of view of environmental protection. D1 Deposit into or onto land, (e.g., landfill, etc.) D2 Land treatment, (e.g., biodegradation of liquid or sludgy discards in soils, etc.) D3 Deep injection, (e.g., injection of pumpable discards into wells, salt domes or naturally occurring

repositories, etc.) D4 Surface impoundment, (e.g., placement of liquid or sludge discards into pits, ponds or lagoons, etc.) D5 Specially engineered landfill, (e.g., placement into lined discrete cells which are capped and isolated

from one another and the environment, etc.) D6 Release into a water body except seas/oceans D7 Release into seas/oceans including sea-bed insertion D8 Biological treatment not specified elsewhere in this Appendix which results in final compounds or

mixtures which are discarded by means of any of the operations in Appendix 5.A D9 Physico chemical treatment not specified elsewhere in this Appendix which results in final

compounds or mixtures which are discarded by means of any of the operations in Appendix 5.A, (e.g., evaporation, drying, calcination, etc.)

D10 Incineration on land D11 Incineration at sea D12 Permanent storage (e.g., emplacement of containers in a mine, etc.) D13 Blending or mixing prior to submission to any of the operations in Appendix 5.A D14 Repackaging prior to submission to any of the operations in Appendix 5.A D15 Storage pending any of the operations in Appendix 5.A

8. The wording of D1 to D15 in Appendix 5.A is identical to that of Annex IV.A of the Basel Convention.

25

APPENDIX 5.B: RECOVERY OPERATIONS9

Appendix 5.B is meant to encompass all such operations with respect to materials considered to be or legally defined as wastes and which otherwise would have been destined for operations included in Appendix 5.A. R1 Use as a fuel (other than in direct incineration) or other means to generate energy R2 Solvent reclamation/regeneration R3 Recycling/reclamation of organic substances which are not used as solvents R4 Recycling/reclamation of metals and metal compounds R5 Recycling/reclamation of other inorganic materials R6 Regeneration of acids or bases R7 Recovery of components used for pollution abatement R8 Recovery of components from catalysts R9 Used oil re-refining or other reuses of previously used oil R10 Land treatment resulting in benefit to agriculture or ecological improvement R11 Uses of residual materials obtained from any of the operations numbered R1-R10 R12 Exchange of wastes for submission to any of the operations numbered R1-R11 R13 Accumulation of material intended for any operation in Appendix 5.B

9. The wording of R1 to R13 in Appendix 5.B is identical to that of Annex IV.B of the Basel Convention.

26

APPENDIX 6: CRITERIA FOR THE OECD RISK-BASED APPROACH

A) Properties

1) Does the waste normally exhibit any of the hazardous characteristics listed in Appendix 2 to this Decision? Furthermore, it is useful to know if the waste is legally defined as or considered to be a hazardous waste in one or more Member countries.

2) Is the waste typically contaminated?

3) What is the physical state of the waste?

4) What is the degree of difficulty of cleanup in the case of accidental spillage or mismanagement?

5) What is the economic value of the waste bearing in mind historical price fluctuations?

B) Management

6) Does the technological capability to recover the waste exist?

7) Is there a history of adverse environmental incidents arising from transboundary movements of the waste or associated recovery operations?

8) Is the waste routinely traded through established channels and is that evidenced by commercial classification?

9) Is the waste usually moved internationally under the terms of a valid contract or chain of contracts?

10) What is the extent of reuse and recovery of the waste and how is any portion separated from the waste but not subject to recovery managed?

11) What are the overall environmental benefits arising from the recovery operations?

27

APPENDIX 7: PRACTICAL INFORMATION TO BE PROVIDED BY MEMBER COUNTRIES

(1) Competent Authority: indicates the address, telephone, e-mail and fax numbers of the regulatory authority having jurisdiction over transboundary movements of wastes destined for recovery operations. If separate competent authorities are known to exist for different types of movements (e.g. different authorities for transit than for import/export), this is also indicated. When applicable, indicate the code number of the national competent authorities.

(2) Contact Point: provides the point of correspondence, including the address, telephone e-mail and fax numbers, through which individuals can, if desired, obtain additional or complementary information.

(3) Acceptable Languages: indicates the languages that can be used by the exporter so that the notification document is understandable for the competent authority receiving it.

(4) Required Points of Entry/Exit: notes if and when national regulations prescribe that shipments of recoverable wastes must enter or exit the territory through specific customs offices.

(5) Pre-consented Recovery Facilities: indicates if a Member country has granted pre-consent for certain wastes to be accepted by one or more pre-consented recovery facilities within its jurisdiction, in conformity with Chapter II, D, (2), Case 2. Details on the company, the location, the expiry of pre-consent, the relevant waste types, and total quantity pre-consented is also indicated when known.

(6) Classification Differences: this item is meant to indicate when divergent classifications exist between the OECD Appendices 3 and 4 and national waste lists, according to provisions of Section B(4) of this Decision. When known specific wastes and associated controls are cited.

(7) Prohibitions: provides information on wastes specifically banned or prohibited for import or export under the Member country's pertinent national laws or regulations.

(8) Contractual Requirements: notes requirements concerning contracts between the exporter and the importer, including whether the competent authority shall review the contract.

(9) Written Consent: indicates if Member countries require written consent for exports or imports of wastes.

(10) Information related to Environmentally Sound Management: Indicates additional information under the terms of domestic legislation on environmentally sound management of wastes.

(11) Notification for Export: Indicates whether notifications for export are transmitted by the competent authorities instead of the exporter.

28

(12) Movement Document: Indicates if a country of transit does not wish to receive a signed copy of the movement document, indicating the receipt of wastes by the recovery facility in the country of import.

(13) Financial Requirements: If Member countries require financial guarantees for transboundary movements of recoverable wastes, such requirements would be specified under this entry. Information provided may inter alia include: the types of guarantee (e.g. insurance statement, bank letters, bonds, etc.), the amount of guarantee (minimum and maximum, if any), whether the guarantee varies according to amount and/or hazardousness of the waste, the damages to be covered.

(14) Pertinent National Laws/Regulations: provides citations to relevant domestic laws and regulations containing provisions that relate to the conditions of this Decision.

(15) Other is used to indicate:

• additional differences between this Decision and national provisions;

• pending amendments to pertinent national laws/regulations; and

• other requirements or issues deemed relevant by the Member country.

29

APPENDIX 8: NOTIFICATION AND MOVEMENT DOCUMENTS

A. Information to be Included in the Notification Document:

1) Serial number or other accepted identifier of notification document.

2) Exporter name, address, telephone, telefax, e-mail and contact person.

3) Recovery facility name, address, telephone, telefax, e-mail and technologies employed.

4) Importer name, address, telephone, telefax, e-mail.

5) Address, telephone, telefax, e-mail of any intended carrier(s) and/or their agents.

6) Country of export and relevant competent authority.

7) Countries of transit and relevant competent authorities.

8) Country of import and relevant competent authority.

9) Single notification or general notification. If general, period of validity requested.

10) Date(s) foreseen for commencement of transboundary movement(s).

11) Means of transport envisaged.

12) Certification that any applicable insurance or other financial guarantee is or shall be in force covering the transboundary movement.

13) Designation of waste type(s) on the appropriate list (Part I or II of Appendix 3 or 4) and their description(s), probable total quantity of each, and any hazardous characteristics.

14) Specification of the recovery operation(s) according to Appendix 5.B to this Decision.

15) Certification of the existence of written contract or chain of contracts or equivalent arrangement as required by this Decision.

16) Certification by the exporter that the information is complete and correct to the best of his knowledge.

30

B. Information to be Included in the Movement Document:

Include all information at A. above plus:

(a) Date shipment has commenced.

(b) Carrier(s) name, address, telephone, telefax, e-mail.

(c) Type of packaging envisaged.

(d) Any special precautions to be taken by carrier(s).

(e) Declaration by exporter that no objection has been lodged by the competent authorities of all countries concerned. This declaration requires signature of the exporter.

(f) Appropriate signatures for each custody transfer.

C. Recommended forms for the notification and movement documents (see Chapter I paragraph 3) for transboundary movements of wastes destined for recovery operations within the OECD area and instructions for completing those forms:

31

Notification Document for Transboundary Movements of Waste OECD 1. Exporter Registration N°: 3. Notification N°: Name: Notification concerning Address: A.(i) Individual shipment: (ii) Multiple shipments: Contact person: B.(i) Disposal (1):

Tel: Fax: (ii) Recovery : Email: C. Pre-consented recovery facility (2;3) Yes No 2. Importer Registration N°: 4. Total intended number of shipments: Name: 5. Total intended quantity (kg / litre) (4): Address: 6. Intended period of time for shipment(s) (4): First departure: Last departure: Contact person: 7. Packaging type(s) (5): Tel: Fax: Special handling requirements (6): Yes: No: Email: 11. Disposal / recovery operation(s) (2) 8. Intended carrier(s) Registration N°: D code / R code (5) : Name(7): Technology employed (6):

Address:

Contact person: Reason for export (1;6): Tel: Fax: Email: 12. Designation and composition of the waste (6): Means of transport (5): 9. Waste generator(s) (1;7;8) Registration N°: Name: Address:

13. Physical characteristics (5): Contact person: Tel: Fax: 14. Waste identification (fill in relevant codes) Email: (i) Basel Annex VIII (or IX if applicable): Site & process of generation (6) (ii) OECD code (if different from (i)): (iii) EC list of wastes: 10. Disposal facility (2): or Recovery facility (2): (iv) National code in country of export: Registration N°: (v) National code in country of import: Name: (vi) Other (specify): Address: (vii) Y-code: (viii) H-code (5): Contact person: (ix) UN class (5): Tel: Fax: (x) UN Number: Email: (xi) UN Shipping name: Actual site of disposal/recovery: (xii) Customs code(s) (HS): 15. Countries/states concerned (a), code N° of competent authorities where applicable (b), specific points of exit or entry (c)

State of Export State(s) of Transit (entry and exit) State of Import (a) (b) (c) 16.Customs offices of entry and/or departure (European Community): Entry: Departure: 17. Exporter’s / Generator’s (1) declaration: I certify that the information is complete and correct to my best knowledge. I also certify that legally-enforceable written contractual obligations have been entered into and that any applicable insurance or other financial guarantee is or shall be in force covering the transboundary movement. 18. Number of Name: Signature: annexes attached Date:

FOR USE BY COMPETENT AUTHORITIES 20. Written consent (1;8) to the movement provided by the 19. Acknowledgement from the relevant competent

authority of countries of import / transit (1) / export (9): competent authority of (country): Country: Consent given on: Notification received on: Consent valid from: until:

Acknowledgement sent on: Specific conditions: No: If Yes, see block 21 (6): Name of competent authority: Name of competent authority: Stamp and/or signature: Stamp and/or signature:

21. SPECIFIC CONDITIONS ON CONSENTING TO THE MOVEMENT OR REASONS FOR OBJECTING (1) Required by the Basel Convention (2) In case of R12/R13 or D13-D15 operation, also attach corresponding information on the subsequent R1-R11 or D1-D12 facilit(y)ies when required. (3) To be completed for movements within the OECD area and only if B(ii) applies. (4) Attach detailed list if multiple shipments

(5) See list of abbreviations and codes on the next page (6) Attach details if necessary (7) Attach list if more than one (8) If required by national legislation (9) If applicable under the OECD Decision

32

List of Abbreviations and Codes Used in the Notification Document

DISPOSAL OPERATIONS (Block 11)

D1 Deposit into or onto land, (e.g., landfill, etc.) D2 Land treatment, (e.g., biodegradation of liquid or sludgy discards in soils, etc.) D3 Deep injection, (e.g., injection of pumpable discards into wells, salt domes or naturally occurring repositories, etc.) D4 Surface impoundment, (e.g., placement of liquid or sludge discards into pits, ponds or lagoons, etc.) D5 Specially engineered landfill, (e.g., placement into lined discrete cells which are capped and isolated from one another and the environment, etc.) D6 Release into a water body except seas/oceans D7 Release into seas/oceans including sea-bed insertion D8 Biological treatment not specified elsewhere in this list which results in final compounds or mixtures which are discarded by means of any of the

operations in this list D9 Physico- chemical treatment not specified elsewhere in this list which results in final compounds or mixtures which are discarded by means of any

of the operations in this list (e.g., evaporation, drying, calcination, etc.) D10 Incineration on land D11 Incineration at sea D12 Permanent storage, (e.g., emplacement of containers in a mine, etc.) D13 Blending or mixing prior to submission to any of the operations in this list D14 Repackaging prior to submission to any of the operations in this list D15 Storage pending any of the operations numbered in this list

RECOVERY OPERATIONS (Block 11)

R1 Use as a fuel (other than in direct incineration) or other means to generate energy R2 Solvent reclamation/regeneration R3 Recycling/reclamation of organic substances which are not used as solvents R4 Recycling/reclamation of metals and metal compounds R5 Recycling/reclamation of other inorganic materials R6 Regeneration of acids or bases R7 Recovery of components used for pollution abatement R8 Recovery of components from catalysts R9 Used oil re-refining or other reuses of previously used oil R10 Land treatment resulting in benefit to agriculture or ecological improvement R11 Uses of residual materials obtained from any of the operations numbered R1-R10 R12 Exchange of wastes for submission to any of the operations numbered R1-R11 R13 Accumulation of material intended for any operation in this list.

PACKAGING TYPES (Block 7)

1. Drum 2. Wooden barrel 3. Jerrican 4. Box 5. Bag 6. Composite packaging 7. Pressure receptacle 8. Bulk 9. Other (specify)

MEANS OF TRANSPORT (Block 8)

R = Road T = Train/Rail S = Sea A = Air W = Inland Waterways

PHYSICAL CHARACTERISTICS (Block 13)

1. Powdery/powder 2. Solid 3. Viscous/paste 4. Sludgy 5. Liquid 6. Gaseous 7. Other (specify)

H CODE AND UN CLASS (Block 14)

UN H code Characteristics Class 1 H1 Explosive 3 H3 Flammable liquids 4.1 H4.1 Flammable solids 4.2 H4.2 Substances or wastes liable to spontaneous combustion 4.3 H4.3 Substances or wastes which, in contact with water, emit

flammable gases 5.1 H5.1 Oxidizing 5.2 H5.2 Organic peroxides 6.1 H6.1 Poisonous (acute) 6.2 H6.2 Infectious substances 8 H8 Corrosives 9 H10 Liberation of toxic gases in contact with air or water 9 H11 Toxic (delayed or chronic) 9 H12 Ecotoxic 9 H13 Capable, by any means, after disposal of yielding another

material, e. g., leachate, which possesses any of the characteristics listed above

Further information, in particular related to waste identification (block 14), i.e. on Basel Annexes VIII and IX codes, OECD codes and Y codes, can be found in a Guidance/Instruction Manual available from OECD and the Secretariat of the Basel Convention.

33

Movement Document for Transboundary Movements of Waste OECD

1. Corresponding to Notification N°: 2. Serial/total number of shipments: /

3. Exporter Registration N°: 4. Importer Registration N°: Name: Name: Address: Address: Contact person: Contact person: Tel: Fax: Tel: Fax: Email: Email: 5. Actual quantity: kg: litre: 6 Actual date of shipment: 7. Packaging Type(s) (1): Number of packages: Special handling requirements: (2) Yes: No: 8.(a) 1st Carrier (3): 8.(b) 2nd Carrier: 8.(c) Last Carrier: Registration N°: Registration N°: Registration N°: Name: Name: Name: Address: Address: Address: Tel: Tel: Tel: Fax: Fax: Fax: Email: Email: Email:

- - - - - - - To be completed by carrier’s representative - - - - - - - More than 3 carriers (2)

Means of transport (1): Means of transport (1): Means of transport (1): Date of transfer: Date of transfer: Date of transfer: Signature: Signature: Signature: 9. Waste generator(s) (4;5;6): 12. Designation and composition of the waste (2): Registration N°: Name: Address: Contact person: 13.Physical characteristics (1): Tel: Fax: Email: 14.Waste identification (fill in relevant codes) Site of generation (2): (i) Basel Annex VIII (or IX if applicable): 10. Disposal facility or Recovery facility (ii) OECD code (if different from (i)):

Registration N°: (iii) EC list of wastes: Name: (iv) National code in country of export: Address: (v) National code in country of import: (vi) Other (specify): Contact person: (vii) Y-code: Tel: Fax: (viii) H-code (1): Email: (ix) UN class (1): Actual site of disposal/recovery (2) (x) UN Number: 11. Disposal/recovery operation(s) (xi) UN Shipping name: D code / R code (1): (xii) Customs code(s) (HS): 15. Exporter’s / Generator’s (4) declaration: I certify that the above information is complete and correct to my best knowledge. I also certify that legally-enforceable written contractual obligations have been entered into, that any applicable insurance or other financial guarantee is in force covering the transboundary movement and that all necessary consents have been received from the competent authorities of the countries concerned. Name: Signature: Date: 16. For use by any person involved in the transboundary movement in case additional information is required

TO BE COMPLETED BY DISPOSAL / RECOVERY FACILITY 17. Shipment received at disposal facility or recovery facility 18. I certify that the disposal/recovery of the Date of reception: Accepted: Rejected*: waste described above has been completed. Quantity received: kg: litre: Date:

Approximate date of disposal/recovery:

*immediately contact competent authorities Name:

Disposal/Recovery operation (1):

Date: Signature and stamp:

Name:

Signature:

(1) See list of abbreviations and codes on the next page (2) Attach details if necessary (3) If more than 3 carriers, attach information as required in blocks 8 (a,b,c).

(4) Required by the Basel Convention (5) Attach list if more than one (6) If required by national legislation

34

FOR USE BY CUSTOMS OFFICES (if required by national legislation)

19. COUNTRY OF EXPORT OR CUSTOMS OFFICE OF EXIT 20.COUNTRY OF IMPORT OR CUSTOMS OFFICE OF ENTRY The waste described in this movement document has left the The waste described in this movement document has entered Country on: The country on: Signature: Signature:

Stamp: Stamp:

21. STAMPS OF CUSTOMS OFFICES OF TRANSIT COUNTRIES Name of country: Name of country: Entry: Departure: Entry: Departure: Name of country: Name of country: Entry: Departure: Entry: Departure:

List of Abbreviations and Codes Used in the Movement Document

DISPOSAL OPERATIONS (Block 11)

D1 Deposit into or onto land, (e.g., landfill, etc.) D2 Land treatment (e.g. biodegradation of liquid or sludgy discards in soils, etc.) D3 Deep injection, (e.g., injection of pumpable discards into wells, salt domes or naturally occurring repositories, etc.) D4 Surface impoundment, (e.g., placement of liquid or sludge discards into pits, ponds or lagoons, etc.) D5 Specially engineered landfill, (e.g., placement into lined discrete cells which are capped and isolated from one another and the environment) D6 Release into a water body except seas/oceans D7 Release into seas/oceans including sea-bed insertion D8 Biological treatment not specified elsewhere in this list which results in final compounds or mixtures which are discarded by means of any of the operations in this list D9 Physico- chemical treatment not specified elsewhere in this list which results in final compounds or mixtures which are discarded by means of any of the operations in this list (e.g., evaporation, drying, calcination) D10 Incineration on land D11 Incineration at sea D12 Permanent storage, (e.g., emplacement of containers in a mine, etc.) D13 Blending or mixing prior to submission to any of the operations in this list D14 Repackaging prior to submission to any of the operations in this list D15 Storage pending any of the operations in this list

RECOVERY OPERATIONS (Block 11)

R1 Use as a fuel (other than in direct incine-ration) or other means to generate energy

R2 Solvent reclamation/regeneration R3 Recycling/reclamation of organic substances which are

not used as solvents R4 Recycling/reclamation of metals and metal compounds R5 Recycling/reclamation of other inorganic materials R6 Regeneration of acids or bases R7 Recovery of components used for pollution abatement R8 Recovery of components from catalysts R9 Used oil re-refining or other reuses of previously used

oil R10 Land treatment resulting in benefit to agriculture or

ecological improvement R11 Uses of residual materials obtained from any of the

operations numbered R1-R10 R12 Exchange of wastes for submission to any of the

operations numbered R1-R11 R13 Accumulation of material intended for any operation in

this list

PACKAGING TYPES (Block 7)

1. Drum 2. Wooden barrel 3. Jerrican 4. Box 5. Bag 6. Composite packaging 7. Pressure receptacle 8. Bulk 9. Other (specify)

MEANS OF TRANSPORT (Block 8)

R = Road T = Train/Rail S = Sea A = Air W = Inland Waterways

PHYSICAL CHARACTERISTICS (Block 13)

1. Powdery / powder 2. Solid 5. Liquid 3. Viscous / paste 6. Gaseous 4. Sludgy 7. Other (specify)

H CODE AND UN CLASS (Block 14)

UN class H code Characteristics

1 H1 Explosive 3 H3 Flammable liquids 4.1 H4.1 Flammable solids 4.2 H4.2 Substances or wastes liable to spontaneous combustion 4.3 H4.3 Substances or wastes which, in contact with water, emit flammable gases 5.1 H5.1 Oxidizing 5.2 H5.2 Organic peroxides 6.1 H6.1 Poisonous (acute) 6.2 H6.2 Infectious substances 8 H8 Corrosives 9 H10 Liberation of toxic gases in contact with air or water 9 H11 Toxic (delayed or chronic) 9 H12 Ecotoxic 9 H13 Capable, by any means, after disposal of yielding another material, e. g.,

leachate, which possesses any of the characteristics listed above

Further information, in particular related to waste identification (block 14), i.e. on Basel Annexes VIII and IX codes, OECD codes and Y codes, can be found in a Guidance/Instruction Manual available from OECD and the Secretariat of the Basel Convention.

35

Instructions for completing the notification and movement documents

Introduction

Several International Agreements have been established to control exports and imports of wastes which may pose a risk or a hazard to human health and the environment. Those Agreements having the most influence on OECD Member countries are the UNEP Basel Convention10 and the revised OECD Decision C(92)39/Final : C(2001)107 (hereafter “the OECD Decision”). In addition to these two agreements, those OECD Member countries that are also Member States of the European Union are obliged to comply with the European Community (EC) Regulation 259/9311. The EC Regulation and the Basel Convention cover international movements of waste, whether they are destined for disposal or recovery, whereas the OECD Decision only concerns movements of wastes destined for recovery operations at facilities within the OECD area. All of the agreements require regular administrative controls throughout their operation.

This Appendix 8 to the OECD Decision comprises the tools of the control system, i.e. the forms for the Notification and Movement Documents, as well as the necessary explanations to complete these forms. Both forms are compatible with the three above-mentioned Agreements. Consequently, they also take into account some specific requirements set in the EC Regulation and in the Basel Convention and not all blocks or only part of the blocks are applicable or need to be completed. The few specific requirements relating to one control system only have been indicated by footnotes. It is also possible that national legislation may use different wording in its interpretation of the text of the Agreements.

These forms include both terms, “disposal” and “recovery”, due to differences in the definitions of the terms according to each agreement. Both OECD and EU use the same two terms, “disposal”, for disposal operations listed in Appendix 5.A of the OECD Decision, and “recovery” for recovery operations listed in Appendix 5.B of the OECD Decision. However, in the Basel Convention only the term “disposal” is used to cover both disposal and recovery operations.

National competent authorities will be responsible for providing and issuing the forms for the Notification and Movement Documents. When doing so, they will use a numbering system, which allows a particular consignment of waste to be traced. The numbering system should be prefixed with the country code that can be found in the ISO Standard 3166-abbreviation list.

Countries may wish to issue the forms in a format that conforms to their national standards (normally ISO A4 as recommended by the United Nations). However, in order to facilitate their use internationally and to take into account the difference between ISO A4 and the paper size used in North America, the frame size of the forms should not be greater than 183 x 262 mm. with margins aligned at the top and the left side of the paper.

10. Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal,

FINAL ACT 21 March 1989, UNITED NATIONS ENVIRONMENT PROGRAMME

11. The European Community (EC) Regulation refers to Council Regulation (EEC) no 259/93 of 1 February 1993 on the “supervision and control of shipments of waste within, into and out of the European Community”, Official Journal of the European Communities No. L30, 6.2.1993 (with amendments)

36

Purpose of Notification and Movement Documents

The Notification Document is intended to provide the Competent Authorities of countries concerned with the information they need to assess the acceptability of the proposed waste movement. The Document includes space for acknowledging receipt of the notification by the relevant Competent Authority(ies) and, when required, consenting in writing to the movement.

The Movement Document is intended to travel with the consignment at all times from leaving the waste generator to its arrival at the disposal/recovery facility in another country. Space is provided on the Document for completing detailed information on the first and any subsequent carriers of the consignment. Also, there are spaces to record passage of the consignment through Customs offices of all countries concerned. (While not strictly required by the International Agreements, some countries may by national legislation require such procedures and information to ensure proper control). Finally, the Document is to be used by the disposal/recovery facility to certify that the waste has been received and that the recovery/disposal operation is completed.

General Requirements

When opting for the use of a printout copy, typescript or block capitals in permanent ink should be used throughout the Documents. Signatures should always be written in permanent ink and the name of the authorised representative should also appear in capital letters to accompany the signature. In the case of a minor mistake, e.g. wrong code for a waste, the correction can be made with the approval of the competent authorities and the new text has to be marked and signed or stamped, mentioning the date of the modification. For major changes or corrections, a new form has to be completed.

The forms have also been designed to be easily completed electronically. In this case, appropriate security measures should be taken against any misuse of the forms. Any changes made with the approval of the competent authorities to a completed form should be visible. When using electronic forms transmitted by email, a digital signature is necessary.

To avoid the complication of translation, the documents require a code, rather than language, in the completion of several blocks. However, where language is used, it must be acceptable to the Competent Authorities in the country of import and, whenever possible, to other countries concerned.

A six-digit format should be used to indicate the date; e.g. 29 January 1995 should be shown as 29.01.95 (day.month.year).

Given the possibility or the need to add annexes/attachments in many cases, each attachment should include the reference number of the relevant Notification and mention the block to which it relates in the Notification or Movement Document.

Paper and electronic forms are provided by national competent authorities dealing with transboundary movements of wastes.

37

Specific Instructions for Completing the Form for the Notification Document

Blocks 1 & 2: The Exporter will provide the registration number (where applicable), full name, address (including the name of the country), telephone/fax numbers (including the country code) and e-mail address of the exporting and importing companies, as well as the name of a contact person responsible for the shipment. The provided phone/fax numbers and the e-mail address should facilitate contacting all relevant persons at any time in relation to any incident during shipment.

Normally, the Importer would be the same as the Disposal/ Recovery facility given in Block 10. However, in some cases the Importer can also be another person, for example a recognised trader, or a corporate body such as the headquarter/mailing address for the receiving disposal/recovery facility in block 10. In order to act as an importer, the recognised trader or corporate body must be under the jurisdiction of the country of import and have the possession or other form of legal control of waste at the moment the shipment arrives into the country of import. In those cases, the information relating to the recognised trader or corporate body should be completed in Block 2.

Block 3: When issuing a notification document, a Competent Authority will, according to its own sys